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eligible institution
As Published: 2001
eligible institution
(in COLL ): 90 (a) a CRD credit institution 90 authorised by its Home State regulator ; (b) an 46 MiFID investment firm 46 authorised by the FCA or an EEA MiFID investment firm authorised by 137 its H…
Disciplinary Tribunal
As Published: 2001
Disciplinary Tribunal
a Tribunal appointed under Schedule 2 to Lloyd's Disciplinary Committees Byelaw (No 31 of 1996). 3…
MIPRU Sch 3 Fees and other required payments
As Published: 2006
MIPRU Sch 3 Fees and other required payments
…
ADR entity
As Published: 2015
ADR entity
any alternative dispute resolution entity, as defined in regulation 4 of the ADR Regulations 154 . [Note: article 4(1) of the ADR Directive ]…
ADR Regulations
As Published: 2015
ADR Regulations
120 187 the Alternative Dispute Resolution for Consumer Disputes (Competent Authorities and Information) Regulations 2015 (SI 2015/542).
terminating event
As Published: 2001
terminating event
(as defined in article 2(1) of the compensation transitionals order ) in relation to applications made under an investment business compensation scheme , the withdrawal, discontinuance or rejection of…
business offer document
As Published: 2003
business offer document
9 an offer document for a regulated mortgage contract that is for a business purpose.
target market
As Published: 2022
target market
111 one or more groups of retail customers sharing common features whose characteristics, needs and objectives the product is or will be designed to meet, as identified by the manufacturer in accordan…
loaned funds
As Published: 2014
loaned funds
57 (in IPRU(INV) ) any funds that have been provided to borrowers under a P2P agreement through an operator of an electronic system in relation to lending .
relevant financial system
As Published: 2010
relevant financial system
87 (in accordance with section 169A(5) of the Act (Support of overseas regulator with respect to financial stability)) a financial system including: (a) financial markets and exchanges; (b) activities…
interim permission
As Published: 2013
interim permission
122 in accordance with article 56 of the Financial Services and Markets Act 2000 (Regulated Activities) (Amendment) (No.2) Order 2013, subject to article 59 of that Order, to be treated as: (a) in rel…
key investor information document
As Published: 2011
key investor information document
8 a short document containing key investor information for investors in a UCITS scheme 10 on the essential elements of the scheme 10 , as detailed in COLL 4.7.2 R (Key investor information).
disclosure obligations
As Published: 2007
disclosure obligations
39 (in REC ) the initial, ongoing and ad hoc disclosure requirements contained in the relevant articles and given effect: (1) in the United Kingdom by Part 6 of the Act and Part 6 rules (within the me…
debt management client money chapter
As Published: 2014
debt management client money chapter
87 CASS 11 .
FINMAR Sch 3 Fees and other required payments
As Published: 2010
FINMAR Sch 3 Fees and other required payments
…
pension wrapper
As Published: 2007
pension wrapper
52 (in the cancellation rules ( COBS 15 )) a SIPP , pension contract or personal pension product .